National Academies Press: OpenBook

Guidelines for Transportation Emergency Training Exercises (2006)

Chapter: 3.0 Establishing a Progressive Exercise Program in the Transportation Environment

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Suggested Citation:"3.0 Establishing a Progressive Exercise Program in the Transportation Environment." National Academies of Sciences, Engineering, and Medicine. 2006. Guidelines for Transportation Emergency Training Exercises. Washington, DC: The National Academies Press. doi: 10.17226/13924.
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Suggested Citation:"3.0 Establishing a Progressive Exercise Program in the Transportation Environment." National Academies of Sciences, Engineering, and Medicine. 2006. Guidelines for Transportation Emergency Training Exercises. Washington, DC: The National Academies Press. doi: 10.17226/13924.
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Suggested Citation:"3.0 Establishing a Progressive Exercise Program in the Transportation Environment." National Academies of Sciences, Engineering, and Medicine. 2006. Guidelines for Transportation Emergency Training Exercises. Washington, DC: The National Academies Press. doi: 10.17226/13924.
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Suggested Citation:"3.0 Establishing a Progressive Exercise Program in the Transportation Environment." National Academies of Sciences, Engineering, and Medicine. 2006. Guidelines for Transportation Emergency Training Exercises. Washington, DC: The National Academies Press. doi: 10.17226/13924.
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Suggested Citation:"3.0 Establishing a Progressive Exercise Program in the Transportation Environment." National Academies of Sciences, Engineering, and Medicine. 2006. Guidelines for Transportation Emergency Training Exercises. Washington, DC: The National Academies Press. doi: 10.17226/13924.
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Suggested Citation:"3.0 Establishing a Progressive Exercise Program in the Transportation Environment." National Academies of Sciences, Engineering, and Medicine. 2006. Guidelines for Transportation Emergency Training Exercises. Washington, DC: The National Academies Press. doi: 10.17226/13924.
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Suggested Citation:"3.0 Establishing a Progressive Exercise Program in the Transportation Environment." National Academies of Sciences, Engineering, and Medicine. 2006. Guidelines for Transportation Emergency Training Exercises. Washington, DC: The National Academies Press. doi: 10.17226/13924.
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Suggested Citation:"3.0 Establishing a Progressive Exercise Program in the Transportation Environment." National Academies of Sciences, Engineering, and Medicine. 2006. Guidelines for Transportation Emergency Training Exercises. Washington, DC: The National Academies Press. doi: 10.17226/13924.
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Suggested Citation:"3.0 Establishing a Progressive Exercise Program in the Transportation Environment." National Academies of Sciences, Engineering, and Medicine. 2006. Guidelines for Transportation Emergency Training Exercises. Washington, DC: The National Academies Press. doi: 10.17226/13924.
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Suggested Citation:"3.0 Establishing a Progressive Exercise Program in the Transportation Environment." National Academies of Sciences, Engineering, and Medicine. 2006. Guidelines for Transportation Emergency Training Exercises. Washington, DC: The National Academies Press. doi: 10.17226/13924.
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Suggested Citation:"3.0 Establishing a Progressive Exercise Program in the Transportation Environment." National Academies of Sciences, Engineering, and Medicine. 2006. Guidelines for Transportation Emergency Training Exercises. Washington, DC: The National Academies Press. doi: 10.17226/13924.
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Suggested Citation:"3.0 Establishing a Progressive Exercise Program in the Transportation Environment." National Academies of Sciences, Engineering, and Medicine. 2006. Guidelines for Transportation Emergency Training Exercises. Washington, DC: The National Academies Press. doi: 10.17226/13924.
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Suggested Citation:"3.0 Establishing a Progressive Exercise Program in the Transportation Environment." National Academies of Sciences, Engineering, and Medicine. 2006. Guidelines for Transportation Emergency Training Exercises. Washington, DC: The National Academies Press. doi: 10.17226/13924.
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Guidelines for Transportation Emergency Training Exercises 20 A progressive exercise program requires activity to ensure management, support, administration, delivery and quality assurance. 3.0 ESTABLISHING A PROGRESSIVE EXERCISE PROGRAM IN THE TRANSPORTATION ENVIRONMENT To establish a progressive exercise program, the transportation exercise coordinator should first review the agency’s existing exercise program to determine if it is sufficiently organized and if it can be adapted to effectively meet the demands of the changing preparedness environment. Figure 5 shows the requirements that should be addressed to establish a progressive exercise program for a transportation agency. This figure shows the emphasis placed on management, support, admin- istration, delivery, and quality assurance. FIGURE 5 OBJECTIVES OF TRANSPORTATION PROGRESSIVE EXERCISE PROGRAM Evaluation Im ple me nt ati on Design Analysis Development ADMINISTRATION MANAGEMENT DELIVERY SUPPORT ▪ Management refers to the organizational structure established to coordinate and run the progres- sive exercise program. This includes the identification of dedicated staff, consultants, and commit- tees or task forces with members from other participating agencies to organize and conduct the program. Key management activities involve • Establishing an internal organization to develop and manage the program, including exercise planning and evaluation teams for scheduled exercises; • Identifying external agency partners and establishing supporting task forces or committees; • Identifying roles and responsibilities (e.g. hiring full-time or part-time staff or consultants) for exercise development, implementation, evaluation, and overall program management; • Establishing an annual and 3-year exercise schedule and budget; • Conducting a needs assessment and review of existing emergency plans, procedures, poli- cies, job aids, and training and identifying targeted areas of focus for the exercise program;

• Establishing goals and objectives within each targeted area of focus; and • Conducting an annual review of the exercise program to ensure that objectives are being met and to revise or update the progressive exercise program schedule. ▪ Support refers to the activities required to obtain resources necessary to conduct the program, including grant funding; agency funding; pooled funding with other agencies; personnel to design, conduct, and evaluate exercises and to monitor the implementation of improvements identified during evaluation; and equipment necessary to support exercises. ▪ Administration refers to activities performed to manage grant applications and requirements; to coordinate meetings among internal staff, consultants, and external response agencies during the exercise design, implementation, and evaluation process; and to track completed resolution of issues and recommendations arising from an exercise, ensuring that action is taken and that improvements are made. ▪ Delivery refers to the final results of the program and ensures that all supporting materials nec- essary for each exercise are developed, that the exercises are conducted, that evaluations are performed, that final AARs and improvement plans are prepared, and that recommendations are implemented. ▪ Quality Assurance refers to activities taken by the transportation agency to ensure that the pro- gressive exercise program meets goals and objectives, complies with grant program require- ments, adequately coordinates with external emergency response partners, and monitors the implementation of recommended improvements. STEPS IN THE PROCESS This section describes the steps necessary for a transportation agency to establish a progressive exercise program. CREATE AN ORGANIZATION To establish the progressive exercise program, the transportation exercise coordinator should first work within the agency to develop and recommend an appropriate organizational structure for man- aging the program. Transportation agencies have taken many different approaches in developing their organizations: ▪ Larger transportation agencies, and medium-sized agencies with resources devoted to exercising, have hired full-time exercise coordinators to manage the program, supported by part-time person- nel allocations from training, safety and security, operations, and maintenance departments; consultants; and organized committees consisting of local responders. Grant management and contracting departments also offer support. ▪ Medium-sized and smaller agencies with limited resources have assigned the exercise function as an additional task to an existing position within their organization. This assignment may go to a senior member of the training, safety, or security departments or may go to a senior manager in operations or even maintenance (for highway organizations). At most, the transportation exercise program can be coordinated half-time by a senior manager with other responsibilities. As with the larger agencies, part-time support is often available from training, safety, security, operations, and maintenance departments. Consultant support is also often available for specific exercises, and an organized committee consisting of local responders may also support the effort. Grant manage- ment issues may be limited under these circumstances, and the time and resources may not be available to manage applications and program requirements. ▪ Small agencies are often significantly hindered by a lack of resources. These agencies may not have senior managers available to coordinate a progressive exercise program, even on a part-time basis. Guidelines for Transportation Emergency Training Exercises 21

Guidelines for Transportation Emergency Training Exercises 22 Small agencies have used consultants to prepare these programs, and these agencies coordinate closely with local responders. Small agencies offer their vehicles and facilities to support emergency exercises, and work to be included in the exercise programs are developed by larger transportation agencies and local emergency responders. Some small agencies have been able to manage grant applications and to receive funding to support exercise programs from local, state, and federal sources. Depending on the size of the transportation organization, activities to create an organization for the progressive exercise program may include ▪ Assigning responsibility for the progressive exercise program to a full-time position or part-time to an existing position; ▪ Creating a committee or task force of internal staff and/or external responders to oversee the program; ▪ Establishing permanent or ad hoc working groups with local responders and others who may par- ticipate in the transportation agency’s exercises. ▪ Developing a program schedule that identifies activities to be performed over the 3-year exer- cise cycle; and ▪ Establishing a budget for the program, including the identification of internal resources and out- side grant programs and pooled funding sources. When establishing the progressive exercise program, the transportation coordinator should consider which personnel would be used to develop both discussion-based and operations-based exercises. For example, representatives from the training department may be ideally suited to incorporate sem- inars and workshops into their existing training programs. Special interagency committees could be used to coordinate with ad hoc or permanent working groups (representing external exercise partic- ipants) to develop tabletops, games, drills, functional exercises, and full-scale exercises. Consultants and partners in public safety agencies may be able to support the development, conduct, and eval- uation of exercises. A sample request for proposal (RFP) for contractor support is available at http://www.loep.state.la.us/ newsrelated/3%20Phase%20exercise%20RFP.doc. FEMA and transportation agency experience has shown that, for most transportation agencies, one to three people can effectively coordinate most of the activities required to develop discussion-based exer- cise (seminars, workshops, tabletops and games) when they are adequately supported by the ad hoc or permanent working group. Depending on both the size of the transportation organization and the level of expertise required, operations-based exercise (drills, functional exercises, and full-scale exercises) can typically be devel- oped and coordinated by three to five people, with significant support from the external agency work- ing group. ESTABLISH A PROGRAM FOUNDATION Once the program organization is created and personnel requirements have been established, a foundation should be created for the program that defines the program’s functions and activities. Typ- ically, this foundation has the following components: ▪ An Exercise Program Plan or Procedure: The transportation exercise organization should for- malize its program and receive endorsement and approval from executive leadership. To accom- Depending on their size, transportation agencies have developed different types of organizations to manage emergency exercise programs.

plish this objective, some agencies have developed extensive plans that document their pro- gressive exercise programs, exercise methodologies, resources, and capabilities. Other trans- portation agencies have developed brief plans that contain only • A statement of purpose for the exercise program; • Exercise program goals and objectives; • A commitment to a 3-year progressive exercise cycle; • The intention to use both discussion-based and operations-based exercises, to evaluate exercises using proven methodologies, and to create after action plans and improvement plans to be addressed by the transportation organization; • Requirements and authorities needed by the program; and • The current version of the 3-year exercise schedule. • Instead of a plan, some transportation agencies have opted to formalize their exercise pro- gram in a procedure that is approved by executive management and by the safety, secu- rity, operations, and maintenance departments. • It does not matter whether a plan, procedure, policy, or some other method is used. It is only important that the transportation agency’s exercise program be formally constituted and given the authority and resources necessary to manage the program. ▪ Needs Assessment and Focus Areas: The transportation exercise coordinator, supported by transportation personnel, consultants, and/or members of local responder agencies, should con- duct a careful review of threat and vulnerability assessments conducted by the agency; existing emergency response plans, policies, procedures, job aids, training; and emergency response expe- rience. Based on this review, the coordinator should identify focus areas that will guide the trans- portation agency’s progressive exercise program. Material to support this activity is available in Attachment 3. Exercises included in the program will address these areas and help to ensure that, through evalua- tion, needed improvements are identified and incorporated into the transportation agency plans, pro- cedures, training, and operations. Transportation agencies typically identify three to five focus areas for each 3-year cycle. Sample focus areas include • The timeliness and accuracy of incident reporting; • The quality of situation assessment for the reported incident; • The adequacy of communication of the incident to the appropriate responding organizations; • The capability to mobilize and dispatch sufficient personnel and proper equipment to deal with the incident; • The ability to identify accessibility problems for first responders in reaching the site of the emergency on the transportation system and to support their access to transportation facil- ities and equipment; • The ability of the organization to effectively evacuate passengers, employees, contrac- tors, and visitors from facilities, vehicles, maintenance shops, and other areas to a safe location; Transportation agencies develop plans, policies and procedures to formalize their exercise programs and receive approval from executive leadership. Focus areas will guide the development of the progressive exercise program and support the creation of specific objectives to guide exercise evaluation. Guidelines for Transportation Emergency Training Exercises 23

Guidelines for Transportation Emergency Training Exercises 24 • The capability to combat fire, hazardous materials, and chemical or biological substances; • The capability to support on-site triage for injured victims and the transportation of the injured to medical facilities; • The capability to safely perform a variety of tasks necessary to ensure the safety of the emergency scene on the transportation system, including structural assessments, debris removal, de-energizing power systems, or containment of hazardous materials; • The capability to use communications systems and technology to coordinate field and man- agement activities both internally and with external response agencies throughout the incident; • The capability of the transportation response to be integrated into the local incident com- mand system; • The timeliness, appropriateness, and accuracy of information provided to the news media; and • The adequacy of coordination among multiple responding organizations. CREATE REALISTIC EXPECTATIONS REGARDING REQUIRED RESOURCES Table 4 depicts a worksheet that can be used to summarize a large transportation agency’s progres- sive exercise program. This table demonstrates the number of participating agencies that can be effec- tively incorporated into a progressive exercise program, thereby promoting transportation readiness and community readiness. This type of program cannot be achieved without considerable commitment from the transportation agency’s senior management. A critical part of commitment is clearly detailing for the transportation agency’s executive leadership the activities to be performed and the resources required to perform them. Based on estimates pro- vided by FEMA, the G&T, and interviewed transportation agencies, the progressive exercise program depicted in Table 2 would require almost $180,000, not including the 3-year cost of a dedicated exer- cise coordinator and the part-time labor provided by transportation personnel from other departments. Factoring in these costs, the true estimate for a program of this magnitude is closer to $500,000 over 3 years. Smaller agencies, with considerably less ambitious programs, many fewer participants, and only part-time staff, can typically expect to spend between $70,000 and $150,000 over 3 years. Whatever the size of the agency, if executive leadership understands these costs and supports them, then the program will have a strong foundation for accomplishing its objectives. Management will sup- port transportation participation in progressive exercise programs developed by local responders and emergency management agencies, enabling the transportation agency to piggy-back on the resources expended by its partners in local, state, and federal government. If senior management does not have the resources to commit to the program, with full access to the cost and activity information, informed decisions cannot be made regarding ways in which to cut expenses and remove exercise activities. SEEK OUTSIDE FUNDING Since September 11, federal, state, and local agencies are funding exercise programs at high levels. Transportation agencies may be able to considerably offset the cost of their progressive exercise pro- grams by submitting grant applications to a variety of municipal, county, state, and federal agencies. Two primary sources of grants are the G&T and FEMA. URLs for their grant pages are presented below. ▪ http://www.ojp.usdoj.gov/odp/grants_goals.htm. ▪ http://www.fema.gov/fema/first_res.shtm. Outside funding sources are available to support transportation progressive exercise programs.

TABLE 4 SAMPLE WORKSHEET DOCUMENTING ELEMENTS OF A LARGE TRANSPORTATION AGENCY’S PROGRESSIVE EXERCISE PROGRAM Participants7Type of Exercise1 Required Materials 2 Situation/Topic Addressed3 No. of Players4 Proposed Dates5 Cost6 TA LE FD EMS EMA/ EOC HAZ Media PW&U Other Required Meetings8 Seminar • Agenda • PowerPoint Presentation Overview of Transportation Exercise Program 140 1st Quarter, Year 1 $1,500 10 30 30 20 5 10 15 10 10 n.a. Workshop • Agenda • Action List Planning for Tabletop 25 2nd Quarter, Year 1 $1,000 5 3 3 3 1 2 2 1 5 n.a. Tabletop • Agenda • Exercise Package • After Action Report • Corrective Action Plan Improvised Explosive Device (IED) Detonated in Transportation Facility 90 3rd Quarter, Year 1 $30,000 40 10 10 10 4 6 3 2 5 4 required Game • Agenda • Exercise Package • After Action Report • Corrective Action Plan 48-Hour Blackout 45 1st Quarter, Year 2 $10,000 20 4 4 4 1 0 0 5 7 3 required Drill • Agenda • Exercise Package • After Action Report • Corrective Action Plan Evacuation of Transportation Facility with Suspicious Package 50 3rd Quarter, Year 2 $15,000 40 1 1 1 1 1 0 1 4 2 required Functional Exercise • Agenda • Exercise Package • After Action Report • Corrective Action Plan Chemical Agent Release in Transportation Facility 150 1st Quarter, Year 3 $50,000 60 20 20 10 3 10 10 2 15 4 required Full-Scale Exercise • Agenda • Exercise Package • After Action Report • Corrective Action Plan Radiological Dispersal Device (Dirty Bomb) Detonated in Transportation Facility 225 3rd Quarter, Year 3 $70,000 70 30 20 10 5 10 10 10 60 5 required ABBREVIATIONS: TA = Transportation Agency LE = Law Enforcement FD = Fire Department EMS = Emergency Medical Services EMA/EOC = Emergency Management Agency/Emergency Operations Center HAZ = Hazardous Materials Response Unit Media = Media Partners to Support Public Information Dissemination PW&U = Public Works and Utilities Other = Vendors Supporting Critical Transportation Systems, Actors (wearing special effect makeup to show the injury symptoms, or “moulage”), Tenants in Shared Facilities, Urban Search and Rescue, and Volunteer Organizations NOTES: 1Indicates the type of exercise to be conducted. 2Indicates the materials to be developed to support the exercise. For most tabletops, functional exercises, and full-scale exercises, the exercise package will include an exercise plan (EXPLAN); control staff instructions (COSIN); and an evaluation plan (EVALPLAN). 3Indicates the topic to be addressed in the exercise. 4Indicates the total number of participants in the exercise. 5Indicates when, during the 3-year planning cycle, the exercise will occur. 6Indicates the cost to conduct the exercise. The sample costs presented are based on FEMA and G&T guidelines, typically for consultant costs and simulation equipment. 7Indicates the number of participants by representative agencies. 8Indicates the number of planning meetings necessary to prepare the exercise.

Guidelines for Transportation Emergency Training Exercises 26 Grant programs described on these websites that are open to transportation agencies and their response partners for transportation-based exercises include the following: ▪ Homeland Security Grant Program (G&T); ▪ Urban Area Security Initiative (UASI)—Mass Transit System Security Grant Program (G&T); ▪ Emergency Management Assistance Grant Program (FEMA); ▪ State and Local Domestic Preparedness Exercise Support (FEMA); and ▪ Emergency Management Performance Grants (FEMA). Each state that receives G&T or FEMA grants has a state administrative agency (SAA). Transporta- tion agencies are urged to contact their SAAs to identify grant programs and submission deadlines. Initial contacts at state departments of homeland security can be found at http://www.dhs.gov/dhspublic/ interapp/editorial/editorial_0291.xml. Typically, exercise grant programs have a period of application that may be open for 1 to 3 months. SAAs and other funding organizations have worked to reduce the complexity of the application process. In many cases, applications require fewer than 10 pages to be filled out. Most grants have fixed terms and conditions. For example, all grant funds must be obligated or encumbered through a valid purchase order, requisition, or contract by a fixed date from the award of the grant, and all funds must be liqui- dated within a fixed number of days of the conclusion of the grant period. Grant programs for exercises typically cover the following costs: ▪ Full or Part-Time Staff or Contractors: Full- or part-time staff may be hired to support exer- cise-related activities. Payment of salaries and fringe benefits must adhere to the policies of the state or the awarding agency, whichever is applicable. The services of contractors may also be procured for the design, development, conduct, and evaluation of exercises. ▪ Overtime: Payment of overtime expenses will be for work performed by awarded or sub-awarded employees in excess of the established work week (usually 40 hours). In no case is dual com- pensation allowable. ▪ Travel: Travel costs (i.e., airfare, mileage, per diem, hotel, and other items) are allowable as expenses by employees who are traveling on official business related to planning and conducting the exercise projects. These costs must be in accordance with either the federal travel policy or an organizationally approved travel policy. ▪ Supplies: Supplies are items that are expended or consumed during the course of the planning and conduct of the exercise projects (e.g., copying paper, gloves, tape, and nonsterile masks). ▪ Other Items: Other costs include exercise signs, badges, and the rental of space for exercise planning and implementation. A sample SAA grant application is provided in Figure 6. Typically, transportation applicants that win grants are required to use the grant to not only perform the proposed exercise, but also provide other deliverables, usually specified in the grant application. Based on the type of exercise conducted, the documents may include ▪ A scenario technical description; ▪ A situation manual or player handbook; In addition to a full accounting of costs, most grant programs for emergency exercises require the grantee to submit deliverables used in conducting the exercises, as well as after action reports and improvement plans.

GRANT APPLICATION FORM Date____________________________ Organization_______________________________________ Level of Government (check one category): Municipality________ County________ State__________ Contact Name__________________________________________________________________________ Address_______________________________________________________________________________ City_____________________________________ State______________ Zip__________________ Telephone_________________________________________ Fax______________________________ E-Mail________________________________________________________________________________ What part of your operation do you want to exercise? Check all applicable categories. _____ Test policies, plans, and procedures _____ Clarify and train domestic preparedness personnel in roles and responsibilities _____ Improve interagency coordination and communications _____ Identify gaps in resources _____ Improve individual performance _____ Identify ways to improve domestic preparedness agencies _____ Other – please describe:___________________________________________________________ Which specific procedure or operation do you want to exercise? (List three to five procedures. Examples include decontamination, resource management, mutual aid, and multiple-agency communication.) At what location do you want the exercise to take place? What type of exercise do you want to conduct? Check all applicable categories. _____ Seminars _____ Drills _____ Workshops _____ Functional Exercises _____ Tabletops _____ Full-Scale Exercises _____ Games Guidelines for Transportation Emergency Training Exercises 27 Who will participate in the exercise? List all agencies and personnel to be involved. Describe the objectives of your proposed exercise. (continued)FIGURE 6 GRANT APPLICATION FORM

EXERCISE BUDGET DETAIL WORKSHEET Agency________________________________________________ Date____________________ Instructions: Exercise Costs: Provide, for each Exercise Budget Category, a brief description of how the funds will be used and the amount allocated to the category. Use additional pages as needed. Indicate the total allocation at the bottom of the chart. Exercise Budget Category Items Amount Personnel (Full- and Part- Time) Subtotal: Overtime Subtotal: Travel Subtotal: Supplies Subtotal: Other Items Subtotal: Total Allocation Guidelines for Transportation Emergency Training Exercises 28 Narrative statement (a brief scenario that sets the stage for an exercise): Total grant funding requested (Exercise Budget Detail Worksheet attached to this application) ____________________________ FIGURE 6 (Continued)

Guidelines for Transportation Emergency Training Exercises 29 ▪ An exercise plan; ▪ An evaluation plan; ▪ A master scenario events list; ▪ An after action report; ▪ An improvement plan; and ▪ Interim products, such as meeting minutes, presentations, and agendas. ESTABLISH PROGRAM ELEMENTS Recent evaluations of transportation experience show that the following elements should be ensured in the creation of a progressive exercise program: ▪ The full range of exercises, including tabletops, walk-throughs, targeted mini-drills, full-scale drills, and functional and full-scale exercises, are all part of the program. ▪ Exercises are designed to ensure that all qualified individuals for each position in the trans- portation emergency response organization strengthen task-related knowledge through periodic participation. ▪ Exercise performance is assessed against specific scenario objectives, including previously identified weaknesses, using postulated events and conditions that adequately test personnel, equipment, and resources. ▪ Exercises properly assess the initial incident and establish a firm command and control structure. This involves clearly explaining and making certain that roles and responsibilities are understood (especially with off-site responders). ▪ Exercises require the response organization to demonstrate effective on-site and off-site com- munications to support emergency response activities. ▪ Effective player, controller, and observer training and briefings are conducted. ▪ Effective control techniques are demonstrated regarding player actions in response to scenario con- ditions. The use of identification badges and vests to distinguish among evaluators, controllers, and other participants is encouraged. ▪ Exercises use knowledgeable, impartial evaluators to identify and evaluate participant perfor- mance, scenario strengths and deficiencies, and equipment problems. ▪ Simulation and prestaging of equipment and personnel are minimized to realistically test the activation and staffing of emergency facilities and the performance of the organization under emergency conditions. ▪ Critiques are conducted in a timely manner. ▪ Feedback is disseminated to the response organization. ▪ Documentation is provided for all phases of the exercise, including an AAR and an improvement plan. ▪ Plans for correcting identified weaknesses and improving training effectiveness are developed and implemented. Careful consideration given to program elements enables the transportation agency to clarify its objectives, requirements, budgets, and schedules.

Guidelines for Transportation Emergency Training Exercises 30 ▪ Exercises challenge emergency public information organizations to demonstrate the ability to collect, verify, and disseminate accurate, reliable, and understandable information. ▪ Sufficient emergency equipment is available to permit use during exercises without reducing sup- plies below desired levels.4 Consideration of these elements is used to identify the scope of the exercise, its purpose, the organi- zations that are participating, the level of participation for each organization, and evaluation metrics for each participating agency. During the exercise design, this information is used to identify the functions and tasks that each organization should accomplish and to prepare the scenario. This information also identifies organizations or functions that must be simulated based on levels of participation. In reviewing these elements, the transportation exercise coordinator should consider how specific types of exercises (seminars, workshops, tabletops, games, drills, functional exercises, and full-scale exercises) could be integrated into the transportation training and emergency preparedness program. For each type of exercise, clear objectives must be identified. These objectives are based on the needs assessment and focus areas, requirements specified in grant funding programs, and consideration of the elements identified above. ESTABLISH DOCUMENTATION REQUIREMENTS AND EXERCISE DEVELOPMENT TIMELINES Table 5 lists typical exercise products for all seven types of exercises. Depending on available resources, capabilities, and needs, transportation agencies should determine the types of exercise products that it will be able to develop during its 3-year exercise cycle. The transportation agency should also identify the schedule for conducting exercises throughout the 3-year cycle. Based on a preliminary schedule, the transportation agency can begin to develop the more detailed timelines necessary to guide exercise development, conduct, and evaluation. More information on timelines for exercise development will be provided in Sections 4 and 5 of these guidelines. CONSIDER KEY ACTIVITIES PERFORMED BY TRANSPORTATION PERSONNEL DURING EMERGENCIES As the last step in creating an exercise program, transportation exercise coordinators should consider preparing a table or list of the types of activities performed by distinct categories of transportation per- sonnel in responding to emergencies. Table 6 lists some of these activities using a typical incident man- agement organization for a transportation agency. Since the ultimate goal of the exercise program is to improve the transportation agency’s capabilities to manage these activities, the transportation exercise coordinator can use this list to show top man- agement and others who must support the exercise program. A clear identification of these activities can help to make the proposed exercise program more accessible to decision-makers and potential partners during meetings and when evaluating proposals. 4Development of Guidelines for Planning, Conducting, and Evaluating Transit Emergency Operations Exercises: Task #2: Compendium of Drill Practice. Federal Transit Administration (Washington, DC), March 4, 2004, pg. 28.

TABLE 5 TYPICAL EXERCISE PRODUCTS Exercise Seminar Workshop Tabletop Game Dr i l l Funct ional Ful l -Scale Scenar io Techn ica l Descr ip t ion • • • Seminar Leaders Gu ide • • Si tua t ion Manua l /P layer Handbook • • • Resu l ts Summary • Recorder Forms • Exerc ise P lan • • Cont ro l S ta f f Ins t ruc t ions • • Master Scenar io Events L is t • • Communica t ions D i rec to ry • • • Cont ro l le r /Eva lua to r Br ie f ing • • Eva lua t ion P lan • • Cont ro l le r /Eva lua to r Packe ts • • Role P layer /Ac t ion /V ic t im Br ie f • • Fu l l -Sca le Exerc ise L iab i l i t y Waiver • • • Player Br ie f ing • • • • Procedura l F low • • • • Synchron iza t ion Mat r i x • • • Cont ro l le r /Eva lua to r Iden t i f y ing Garments • • Exerc ise Par t i c ipan ts Badges • • • • • • • Hot Wash/Af te r Ac t ion Rev iew Br ie f ing • • • • Summary Repor t • • • Af te r Ac t ion Repor t • • • • • Cor rec t i ve Ac t ion P lan • • • • •

Guidelines for Transportation Emergency Training Exercises 32 TABLE 6 ACTIVITIES PERFORMED BY TRANSPORTATION AGENCY DURING AN EMERGENCY Responding Element Key Activities Transportation Front-Line Employee  Reports incident to transportation management center  Establishes transportation agency response at scene  Coordinates with on-scene emergency responders  May serve as transportation incident commander until relieved by a supervisor Transportation Agency Incident Commander  Establishes a transportation agency command post  Takes command and control of the transportation scene and/or transportation agency employees until relieved by senior supervisor  Ensures the safety of motorists/passengers, first responders, and employees  Requests additional assistance as needed  Communicates with transportation management center, field supervisors, maintenance, and transportation specialists (power, vehicles, infrastructure, etc.)  Prepares a site safety plan  Establishes a system for the tracking and credentialing of transportation agency employees and resources at the scene  Documents all activities  Communicates with external emergency response agency incident commander  Supports/joins in unified command  Conducts a debrief for shift or commander changes and upon completion Transportation Agency Incident Management Team  Supports the transportation incident commander at scene  Supports motorists, passengers, and emergency responders at scene  Requests resources  Performs activities required to stabilize the scene  Supports staging of resources and completion of required activities  Monitors scene safety and briefs transportation incident commander Transportation Dispatch/Management Center  Communicates with the transportation incident commander regarding on- scene transportation issues, updated situation assessments, and resource requests  Supports communications between the transportation incident commander and the transportation agency emergency operations center  Coordinates with other responding agency dispatch centers regarding resource requests and requirements  Conveys requests from local/regional/state emergency operations center  Manages the affected transportation system  Manages the elements of the transportation system not affected by the emergency Transportation Agency Emergency Operations Center  Activates transportation emergency plans and authorizes extended staffing plans  Led by emergency management director (usually executive director, general manager, or other high-ranking executive within the transportation agency)  Coordinates with external agencies regarding requests and decisions  Coordinates with local/regional/state emergency operations center  Develops short- and long-term strategies for managing both the affected transportation system and elements of the system not affected by the emergency  Authorizes emergency procurements  Provides resources, materials, and supplies  Documents event  Prepares and implements mid- or long-term strategy for recovery operations  Provides communications to the transportation agency’s internal board or other governmental entity, unions, emergency agencies, the media, and the public

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TRB’s National Cooperative Highway Research Program (NCHRP) Report 525: Surface Transportation Security and TRB’s Transit Cooperative Research Program (TCRP) Report 86: Public Transportation Security series publications have jointly published Guidelines for Transportation Emergency Training Exercises. The report is Volume 9 in each series. The report is designed to assist transportation agencies in developing drills and exercises in alignment with the National Incident Management System. The report describes the process of emergency exercise development, implementation, and evaluation. In addition, the available literature and materials to support transportation agencies such as state departments of transportation, traffic management centers, and public transportation systems are described.

NCHRP Report 525: Surface Transportation Security is a series in which relevant information is assembled into single, concise volumes—each pertaining to a specific security problem and closely related issues. The volumes focus on the concerns that transportation agencies are addressing when developing programs in response to the terrorist attacks of September 11, 2001, and the anthrax attacks that followed. Future volumes of the report will be issued as they are completed.

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